DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W•• W••••• P•••••••
Legal name W••••• M••••••••• S••••••••• I•••
Latest filing Jul 24, 2026
First filing on the tape Oct 31, 2019 · 18 filings
SEC status approved since Nov 29, 2019
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$295M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$315M as of Jul 24, 2026
Mar 19, 2020$116M then
HNW client RAUM$234M as of Jul 24, 2026
Mar 19, 2020$67.8M then
State-registered IARs (5.B.3)3 as of Jul 24, 2026
Mar 19, 20203 then
Employees (5.A)6 as of Jul 24, 2026
Mar 19, 20206 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $429,861derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $33.5M, 39 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$234M74%
- Individuals$60.9M19%
- Charitable organizations$7.7M2.5%
- State and municipal entities$7.0M2.2%
- Pension and profit-sharing plans$4.7M1.5%
- Corporations and businesses$131,1350.0%
- Individual clients
- 212reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 732reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.5M for 39 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• H••••• K•••Certified Financial Planner | Pittsburgh, Pa | Jan 13, 2020 | 14 y | 2 |
| H••••• L•••• K•••Certified Financial Planner | Pittsburgh, Pa | Jan 14, 2020 | 37 y | 3 |
| D••••• B•••• E••••Certified Financial Planner | Pittsburgh, Pa | Jan 11, 2023 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H••••• L•••• K••• from K••••• A••••••• S•••••••• L••Jan 14, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••• H••••• K••• from K••••• A••••••• S•••••••• L••Jan 13, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A••••••• S•••••••• L••Apr 1, 2020 · Pittsburgh, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• H•••••• L•••• · President And Chief Compliance Officercontrolsince 08/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greensburg, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 671 to 732Mar 10, 2025 to Feb 27, 2026
- Advisory employees · 4 to 3Mar 10, 2025 to Feb 27, 2026
- HNW clients · 90 to 80Mar 10, 2025 to Feb 27, 2026
- Individual clients · 187 to 212Mar 10, 2025 to Feb 27, 2026
- Assets in custody · $17.1M to $33.5MMar 10, 2025 to Feb 27, 2026
- Employees · 7 to 6Mar 10, 2025 to Feb 27, 2026
- Discretionary RAUM · $253M to $314MMar 10, 2025 to Feb 27, 2026
- HNW RAUM · $189M to $234MMar 10, 2025 to Feb 27, 2026
- Individual RAUM · $45.7M to $60.9MMar 10, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $0 to $736,625Mar 10, 2025 to Feb 27, 2026
- Pension RAUM · $4.7M to $4.7MMar 10, 2025 to Feb 27, 2026
- RAUM · $253M to $315MMar 10, 2025 to Feb 27, 2026
- Accounts · 628 to 671Mar 11, 2024 to Mar 10, 2025
- HNW clients · 89 to 90Mar 11, 2024 to Mar 10, 2025
- Assets in custody · $25.5M to $17.1MMar 11, 2024 to Mar 10, 2025
- Financial planning clients · 101-250 to 101-250Mar 11, 2024 to Mar 10, 2025
- Discretionary RAUM · $222M to $253MMar 11, 2024 to Mar 10, 2025
- HNW RAUM · $163M to $189MMar 11, 2024 to Mar 10, 2025
- Individual RAUM · $39.6M to $45.7MMar 11, 2024 to Mar 10, 2025
- Pension RAUM · $7.4M to $4.7MMar 11, 2024 to Mar 10, 2025
- RAUM · $222M to $253MMar 11, 2024 to Mar 10, 2025
- Accounts · 644 to 628Sep 5, 2023 to Mar 11, 2024
- Advisory activities · 2 to 3Sep 5, 2023 to Mar 11, 2024
- HNW clients · 84 to 89Sep 5, 2023 to Mar 11, 2024
- Individual clients · 200 to 187Sep 5, 2023 to Mar 11, 2024
- Pension plan clients · 6.0 to unsetSep 5, 2023 to Mar 11, 2024
- Assets in custody · $24.0M to $25.5MSep 5, 2023 to Mar 11, 2024
- Discretionary RAUM · $200M to $222MSep 5, 2023 to Mar 11, 2024
- HNW RAUM · $136M to $163MSep 5, 2023 to Mar 11, 2024
- Individual RAUM · $42.1M to $39.6MSep 5, 2023 to Mar 11, 2024
- Pension RAUM · $9.7M to $7.4MSep 5, 2023 to Mar 11, 2024
- RAUM · $200M to $222MSep 5, 2023 to Mar 11, 2024
- Accounts · 612 to 644Oct 30, 2022 to Mar 22, 2023
- Advisory employees · 5 to 4Oct 30, 2022 to Mar 22, 2023
- HNW clients · 93 to 84Oct 30, 2022 to Mar 22, 2023
- Individual clients · 170 to 200Oct 30, 2022 to Mar 22, 2023
- Pension plan clients · 5 to 6Oct 30, 2022 to Mar 22, 2023
- Assets in custody · $20.9M to $24.0MOct 30, 2022 to Mar 22, 2023
- Employees · 8 to 7Oct 30, 2022 to Mar 22, 2023
- Financial planning clients · 51-100 to 101-250Oct 30, 2022 to Mar 22, 2023
Signals
1 dated events
- W••••• M••••••••• S••••••••• filed its initial SEC registration (Form ADV)Oct 31, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 412-781-7100reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 412-781-7101reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 724-836-0112reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wealth-management-strategies-inc-reportedpublic record, Form ADV, Sep 21, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 412-781-7100reportedpublic record, Form ADV, Jul 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026